YC
Yi-ling Chen
OSAIC INSTITUTIONS
New York, NY 10004
Some features on this profile are disabled
CRD#: 4208890
YC
Professional summary
Yi-ling Chen, who also goes by Helen Chen, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in New York, New York.
Yi-ling is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Yi-ling has worked at 6 firms and has passed the Series 65, Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Helen Chen
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) Popular bank. Yes, investment related. Private banker.Started Feb 2022 - 7/2023. Banking and financial Services. Approx 160 hours per month. 136 during trading hours. 7/2023 - Present (Banking) Position: Sr. Sales & Relationship Advisor.
CRS (Client Relationship Summary) - RIA
Click below to view Yi-ling Chen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yi-ling Chen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 7, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 85 Broad Street 10th Floo, New York, NY 10004RIA
BD
CRD#: 35371
New York, NY
Current
February 7, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 85 Broad Street 10th Floo, New York, NY 10004RIA
BD
CRD#: 35371
New York, NY
Past
March 5, 2014 - February 18, 2022
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
FORT LEE, NJ
Past
March 3, 2014 - February 18, 2022
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
FORT LEE, NJ
Past
August 29, 2013 - February 27, 2014
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ENGLEWOOD, NJ
Past
August 27, 2013 - February 27, 2014
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ENGLEWOOD, NJ
Past
May 22, 2013 - August 13, 2013
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
FORT LEE, NJ
Past
January 1, 2005 - August 13, 2013
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
FORT LEE, NJ
Past
April 18, 2003 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
September 17, 2001 - July 31, 2002
UBS INTERNATIONAL INC.
BD
CRD#: 107726
NEW YORK, NY
Past
August 29, 2000 - September 17, 2001
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(2/7/2022)
RR
New Jersey(2/7/2022)
IAR
New Jersey(2/9/2022)
RR
New York(2/7/2022)
IAR
New York(2/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
